How to prepare for an EPA RRP inspection

Two kinds of inspection

The manual describes work site inspections and record review inspections. At a work site, an inspector gathers information on whether the owner or occupant received the pamphlet, whether a certified firm is doing the job, whether renovators are certified, whether other workers received on-the-job training, and whether work practices are being followed.

A firm inspection happens at the office and is mainly a records review. EPA can also ask for records by letter. The manual describes an information request letter seeking voluntary submission of records, and says a subpoena may be considered. Authorized state and Tribal programs run their own compliance work, so ask your program what applies where you operate.

The manual says EPA generally conducts unannounced inspections, though it may give notice. When it does, the inspector should explain the scope, give a timeframe, and ask that people and records be available.

What record reviewers look for

The manual tells inspectors to look for completeness, consistency between documents, and whether the information actually verifies compliance. They are told to note missing records, inconsistencies, and contradictions. So a tidy binder is not the goal. A file where the dates, names, and addresses agree with one another is.

Its record review guidance recommends beginning with a limited sample of jobs, usually 10 percent, and it notes that firms may mix RRP and non-RRP files. Example: a firm with 200 jobs in a year may be asked about roughly 20. Those could be any of the 200, so every file needs to stand on its own. Separating covered and non-covered jobs, or tagging them clearly, makes that prescreening far easier.

Common consistency problems to look for yourself: a pamphlet receipt dated after the start date, a renovator certificate that had expired by the job date, a worker in photos who is missing from the training list, and a closeout form with no cloth count. These are examples of what to check, not a list from EPA.

• Firm certification current on every job date.
• Assigned certified renovator named on each job, with certificate copy.
• Pamphlet evidence dated before the start and within 60 days.
• On-the-job training with topics for each worker.
• Renovator certification of work practices and cleaning verification.
• Customer information delivered by the deadline, with a record of it.
• Dates, names, and addresses agree across documents.

Run your own review before anyone asks

Once a quarter, pick three completed jobs at random, including a small one. Ask someone who did not assemble them to find each item on the checklist above using only the address. Time it. If the answer depends on one person's memory or private login, fix that first.

Also run a surprise job site drill. Ask the on-site lead to show their initial and most recent refresher certificates, and to say who the assigned certified renovator is and how to reach them. Those certificates must be at the work site, and a phone copy only counts if it can be viewed.

Decide in advance who the crew should call. A one-page sheet in the truck can name the firm contact and the firm's lawyer, and remind the crew to be polite and honest, to not guess at answers, and to call the office right away.

When an inspector arrives

The manual says inspectors present credentials and a written Notice of Inspection, and that they ask the property owner or someone with authority over the property for consent to enter. It says a renovator generally is not in a position to object once the owner or a person with common authority has consented. Ask to see the credentials and note the inspector's name. Call your firm contact.

Under section 745.87, failing or refusing to keep records, make them available, or permit entry or inspection as required is a violation. Violators may face civil and criminal sanctions for each violation. Whether to consent or how to respond in a specific case is a question for your lawyer.

The manual calls for a confidentiality notice to be given at the start of an inspection and describes a form for claiming confidential business information. It also describes a receipt for any documents or samples the inspector takes. Ask for that receipt and keep it with your own notes of who came, when, what was reviewed, and what was said.

After the visit

The manual says inspectors share preliminary observations at an exit meeting without making compliance decisions. They may follow up for documents, and it suggests that ten working days is appropriate in most cases. Put any written request on the calendar as soon as it arrives, and give it to your lawyer if it could lead to enforcement.

Send what is asked for, labeled clearly, with copies kept. If you find a mistake in your records, explain it in a dated note and keep the original. RRP Central keeps job records with an append-only history and exports a PDF or ZIP packet, which can help you find and share files. It does not establish that a job complied.

Questions contractors ask

Can EPA look at past jobs? Records must be kept and made available for 3 years after completion, so plan on any job in that period being reviewed. Other programs may require longer.

Do electronic records work for an inspection? EPA says the rule does not specify a format, but documents that cannot be viewed are not considered available at the work site. Test your access before you rely on it.

Is there a fixed penalty amount? This guide does not set one out. Penalties depend on the case and are adjusted over time, so ask your lawyer about your own facts.

Does a clean record mean the job was done right? No. Records and actual work practices are both reviewed, and neither replaces the other.